IC 5-15-5.1
Chapter 5.1. State Commission on Public Records
IC 5-15-5.1-1 Definitions
Sec. 1. As used in this chapter:
"Commission" means the commission on public records created
by this chapter.
"Record" means all documentation of the informational,
communicative or decisionmaking processes of state government, its
agencies and subdivisions made or received by any agency of state
government or its employees in connection with the transaction of
public business or government functions, which documentation is
created, received, retained, maintained, or filed by that agency or its
successors as evidence of its activities or because of the
informational value of the data in the documentation, and which is
generated on:
(1) paper or paper substitutes;
(2) photographic or chemically based media;
(3) magnetic or machine readable media; or
(4) any other materials, regardless of form or characteristics.
"Nonrecord materials" means all identical copies of forms,
records, reference books, and exhibit materials which are made, or
acquired, and preserved solely for reference use, exhibition purposes,
or publication and which are not included within the definition of
record.
"Personal records" means:
(1) all documentary materials of a private or nonpublic
character which do not relate to or have an effect upon the
carrying out of the constitutional, statutory, or other official or
ceremonial duties of a public official, including: diaries,
journals, or other personal notes serving as the functional
equivalent of a diary or journal which are not prepared or
utilized for, or circulated or communicated in the course of,
transacting government business; or
(2) materials relating to private political associations, and
having no relation to or effect upon the carrying out of
constitutional, statutory, or other official or ceremonial duties
of a public official and are not deemed public records.
"Form" means every piece of paper, transparent plate, or film
containing information, printed, generated, or reproduced by
whatever means, with blank spaces left for the entry of additional
information to be used in any transaction involving the state.
"Agency" means any state office, department, division, board,
bureau, commission, authority, or other separate unit of state
government established by the constitution, law, or by executive or
legislative order.
"Public official" means an individual holding a state office created
by the Constitution of Indiana, by act or resolution of the general
assembly, or by the governor; all officers of the executive and
administrative branch of state government; and all other officers,
heads, presidents, or chairmen of agencies of state government.
"Indiana state archives" means the program maintained by the
commission for the preservation of those records and other
government papers that have been determined by the commission to
have sufficient permanent values to warrant their continued
preservation by the state.
"Forms management" means the program maintained by the
commission to provide continuity of forms design procedures from
the form's origin up to its completion as a record by determining the
form's size, style and size of type; format; type of construction;
number of plies; quality, weight and type of paper and carbon; and
by determining the use of the form for data entry as well as the
distribution.
"Information management" means the program maintained by the
commission for the application of management techniques to the
purchase, creation, utilization, maintenance, retention, preservation,
and disposal of forms and records undertaken to improve efficiency
and reduce costs of recordkeeping; including management of filing
and microfilming equipment and supplies, filing and information
retrieval systems, files, correspondence, reports and forms
management, historical documentation, micrographic retention
programming, and critical records protection.
"Records center" means a program maintained by the commission
primarily for the storage, processing, retrieving, servicing, and
security of government records that must be retained for varying
periods of time but should not be maintained in an agency's office
equipment or space.
"Critical records" means records necessary to resume or continue
governmental operations, the reestablishing of the legal and financial
responsibilities of government in the state, or to protect and fulfill
governmental obligations to the citizens of the state.
"Retention schedule" means a set of instructions prescribing how
long, where, and in what form a record series shall be kept.
"Records series" means documents or records that are filed in a
unified arrangement, and having similar physical characteristics or
relating to a similar function or activity.
"Records coordinator" means a person designated by an agency
to serve as an information liaison person between the agency and the
commission. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.1-1999,
SEC.7.
IC 5-15-5.1-2 Application of chapter
Sec. 2. (a) This chapter applies to records:
(1) open to the public and carrying no classification or
restriction;
(2) required to be kept confidential by federal law, rule, or
regulation;
(3) declared confidential by the general assembly; or
(4) declared confidential by a rule adopted under specific
authority for confidential records granted to an agency by the
general assembly.
(b) The provisions of this chapter do not apply to state-supported
colleges and universities, but the commission may offer its services
to them.
(c) The provisions of this chapter shall in no way restrict the
powers and duties of the state board of accounts as prescribed by
IC 5-11. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,
SEC.8; P.L.36-1984, SEC.1.
IC 5-15-5.1-3 Creation of commission; administration of chapter; seal; offer of
services
Sec. 3. There is created the commission on public records to
administer this chapter for the administrative and executive branches
of state government. The commission shall adopt a seal which shall
be the seal of the state of Indiana. The commission shall offer its
services to the legislative and judicial branches of state government. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-4 Director; qualifications; term; removal; staff; salaries
Sec. 4. (a) The governor shall appoint a director as the executive
head of the commission. The director must be versed in the
principles of information and forms management, archives, and the
affairs and organization of state government. The director shall serve
a term of four (4) years. However, the director may be removed for
cause by the governor. It is the intent of the general assembly that the
director be a person who is qualified by training and experience to
administer the affairs of the commission and that the director's tenure
of office is limited only by the director's ability and the proper
performance of the director's duties.
(b) The director, subject to the approval of the governor and the
budget agency, shall appoint such staff as necessary to implement
this chapter.
(c) The salary of the director is subject to the approval of the
governor and the budget agency. Salaries of the staff are subject to
the approval of the state personnel department and the budget
agency. The provisions of IC 4-15-2 apply to the staff of the
commission. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.3-1989,
SEC.28.
IC 5-15-5.1-5 Powers and duties of commission
Sec. 5. (a) Subject to approval by the oversight committee on
public records created by section 18 of this chapter, the commission
shall do the following:
(1) Establish a forms management program for state
government and approve the design, typography, format, logo,
data sequence, form analysis, form number, and agency file
specifications of each form.
(2) Establish a central state form numbering system and a
central cross index filing system of all state forms, and
standardize, consolidate, and eliminate, wherever possible,
forms used by state government.
(3) Approve, provide, and in the manner prescribed by IC 5-22,
purchase photo-ready copy for all forms.
(4) Establish a statewide records management program,
prescribing the standards and procedures for record making and
record keeping. However, the investigative and criminal history
records of the state police department are exempted from this
requirement.
(5) Coordinate utilization of all micrographics equipment in
state government.
(6) Assist the Indiana department of administration in
coordinating utilization of all duplicating and printing
equipment in the executive and administrative branches.
(7) Advise the Indiana department of administration with
respect to the purchase of all records storage equipment.
(8) Establish and operate a distribution center for the receipt,
storage, and distribution of all material printed for an agency.
(9) Establish and operate a statewide archival program to be
called the Indiana state archives for the permanent government
records of the state, provide consultant services for archival
programs, conduct surveys, and provide training for records
coordinators.
(10) Establish and operate a statewide record preservation
laboratory.
(11) Prepare, develop, and implement record retention
schedules.
(12) Establish and operate a central records center to be called
the Indiana state records center, which shall accept all records
transferred to it, provide secure storage and reference service
for the same, and submit written notice to the applicable agency
of intended destruction of records in accordance with approved
retention schedules.
(13) Demand, from any person or organization or body who has
illegal possession of original state or local government records,
those records, which shall be delivered to the commission.
(14) Have the authority to examine all forms and records
housed or possessed by state agencies for the purpose of
fulfilling the provisions of this chapter.
(15) In coordination with the office of technology established
by IC 4-13.1-2-1, establish standards to ensure the preservation
of adequate and permanent computerized and auxiliary
automated information records of the agencies of state
government.
(16) Notwithstanding IC 5-14-3-8, establish a schedule of fees
for services provided to patrons of the Indiana state archives. A
copying fee established under this subdivision may exceed the
copying fee set forth in IC 5-14-3-8(c).
(b) In implementing a forms management program, the
commission shall follow procedures and forms prescribed by the
federal government.
(c) Fees collected under subsection (a)(16) shall be deposited in
the state archives preservation and reproduction account established
by section 5.3 of this chapter. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.28-1983,
SEC.52; P.L.58-1993, SEC.11; P.L.49-1997, SEC.29; P.L.177-2005,
SEC.17.
IC 5-15-5.1-5.3 State archives preservation and reproduction account;
establishment
Sec. 5.3. (a) The state archives preservation and reproduction
account (referred to in this section as "the account") is established as
an account within the state general fund. The account shall be
administered by the commission. The money in the account does not
revert to any other account within the state general fund at the end of
a state fiscal year.
(b) The account consists of fees collected under section 5(a)(16)
of this chapter.
(c) Money in the account is annually appropriated to the
commission for use in the preservation and reproduction of public
records in the Indiana state archives. As added by P.L.58-1993, SEC.12.
IC 5-15-5.1-6 Designing, numbering, standardizing, consolidating, and
eliminating forms; considerations by commission
Sec. 6. The commission shall design, redesign, number,
standardize, consolidate, or eliminate when obsolete, all forms used
by state government, apply the definition of record to any
governmental materials so questioned, and determine the nature of
nonrecord materials housed or maintained by an agency. In
performing these functions, the commission shall consult with each
affected agency and shall consider each agency's statutory
responsibilities, its relationships with federal or other governmental
agencies and the requirements of state law. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-6.5 Racial or ethnic identification information; multiracial
classification
Sec. 6.5. (a) This section does not apply to a printed document
that was printed and in stock before July 1, 1995.
(b) As used in this section, "multiracial" means having a
biological parent who is of a different race from the other biological
parent.
(c) All forms, questionnaires, and other printed or electronic
documents:
(1) that are used by a public agency (as defined in IC 5-14-3-2)
to request information on the racial or ethnic identification of
a respondent; and
(2) that contain an enumeration of racial and ethnic
classifications from which the respondent must select a
classification;
must include among the choices the classification multiracial. As added by P.L.80-1995, SEC.1.
IC 5-15-5.1-7 Archives; supervision; use of materials
Sec. 7. The commission shall make the archives of the state
available for public use under supervised control at reasonable hours.
However, the commission shall weigh the need for preservation from
deterioration or mutilation of original records in establishing access
use to such items. The commission shall furnish copies of archival
materials upon request, unless confidential by law or restricted by
promulgated rule, and payment of such fees as may be required. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-8 Central micrographics laboratory; microfilming standards
Sec. 8. The commission shall operate a central micrographics
laboratory. The oversight committee in coordination with the
supreme court shall promulgate regulations concerning quality
standards for microfilming documents that shall allow documents
meeting those standards to be admissible in court. Such microfilming
standards shall be followed by all agencies of the administrative and
executive branches of state government. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-9 Copies of records certified by commission; force and effect
Sec. 9. Copies of records transferred from the office of their
origin to the custody of the commission, when certified by the
director or his designee, under seal of the commission, shall have the
same force and effect as if certified by the original custodian. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-10 Duties of agencies
Sec. 10. Each agency shall:
(1) Make and preserve records containing adequate and proper
documentation of the organization, functions, policies,
decisions, procedures, and essential transactions of the agency
to protect the legal and financial rights of the government and
of persons directly affected by the agency's activities.
(2) Cooperate fully with the commission in implementing the
provisions of this chapter.
(3) Establish and maintain an active and continuing program for
the economical and efficient management of information and
assist the commission in the conduct of information
management surveys.
(4) Implement information management procedures and
regulations issued by the commission.
(5) Submit to the oversight committee, a recommended
retention schedule for each form and record series in its
custody. However, retention schedules for forms and record
series common to more than one (1) agency may be established
by the oversight committee. Records may not be scheduled for
retention any longer than is necessary to perform required
functions. Records requiring retention for several years must be
transferred to the records center.
(6) Establish necessary safeguards against the removal,
alteration, or loss of records; safeguards shall include
notification to all officials and employees of the agency that
records in the custody of the agency may not be alienated or
destroyed except in accordance with the provisions of this
chapter.
(7) Designate an agency information coordinator, who shall
assist the commission in the content requirements of the form
design process and in the development of the agency's records
retention schedules.
(8) Report to the commission before December 31 of each year
those records which have been created or discontinued in the
past year. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-11 Title to records
Sec. 11. Title to any record transferred to the Indiana state
archives as authorized by this chapter shall be vested in the
commission. However, title to any record deposited in the Indiana
state records center shall remain with the agency transferring that
record. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-12 Critical records program
Sec. 12. The commission shall establish and maintain a critical
records program for the state of Indiana. It shall determine what
records are essential to the continuity of state government operations
and shall survey agency records to identify those records. The
commission shall plan and implement a program for protection of
critical records through dispersal, duplication, or secure vault storage
of those records. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-13 Confidential records; destruction
Sec. 13. Records designated as confidential by law shall be so
treated by the commission in the maintenance, storage, transfer, or
other disposition of those records. Confidential records scheduled for
destruction shall be destroyed in such a manner that they cannot be
read, interpreted, or reconstructed. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,
SEC.9.
IC 5-15-5.1-14 Mutilation, sale, loan, or other disposition of records by public
official or agency
Sec. 14. A public official or agency may not mutilate, destroy,
sell, loan, or otherwise dispose of any government record, except
under a record retention schedule or with the written consent of the
commission. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-15 Delivery of records by public official to successor
Sec. 15. (a) A public official who has the custody of any records,
excluding personal records, shall at the expiration of his term of
office or appointment, deliver to his successor, or to the commission
if there is no successor, all materials defined as records by this
chapter.
(b) Upon the termination of a state agency whose functions have
not been transferred to another agency, the records of the state
agency shall be deposited with the commission. The commission
shall determine which records are of sufficient legal, historical,
administrative, research or fiscal value to warrant their continued
preservation. Records that are determined to be of insufficient value
to warrant continued preservation shall be disposed of or destroyed. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-16 Transfer of records to state archives; agreements with legislature
and supreme court
Sec. 16. (a) The commission may enter into agreements with the
legislative branch of government for transfer of the permanent
records of that body not having current administrative value to the
Indiana state archives.
(b) The commission may enter into agreements with the Indiana
supreme court and court of appeals and their clerk for transfer of the
permanent records of those bodies not having current administrative
value to the state archives. As added by Acts 1979, P.L.40, SEC.1. IC 5-15-5.1-17 Delivery of books, records, and documents to commission by state,
county, or other officials; copies of documents, papers, and rules
Sec. 17. (a) A state, county, or other official may turn over to the
commission, in accordance with the rules of the commission for
permanent preservation, any official books, records, documents,
original papers, newspaper files, or printed books or materials not in
current use in his office.
(b) Subject to subsection (c), the commission may make a copy,
by photography or in any other way, of any official book, record,
document, original paper, newspaper, or printed book or material in
any county, city, or other public office for preservation in the state
archives. County, city, and other officials shall permit such copies to
be made of the books, records, documents, and papers in their
respective offices.
(c) The commission shall copy the official copy of the rules
(including incorporated matters filed under IC 4-22-2-21) retained by
the secretary of state under IC 4-5-1-2. Any duplicate original copy
possessed by another agency is not a critical record and may not be
copied. If the secretary of state prepares micrographic copies of these
documents under IC 4-5-1-2 and the copies are in a form that meets
the specifications of the commission, the commission shall arrange
with the secretary of state to obtain the number of copies needed by
the commission, rather than copying the documents as part of a
separate program. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.31-1985,
SEC.42; P.L.11-1996, SEC.3.
IC 5-15-5.1-18 Oversight committee; composition; secretary; compensation and
expenses
Sec. 18. (a) The oversight committee on public records consists
ex officio of:
(1) the governor or the governor's designee;
(2) the secretary of state or the secretary's designee;
(3) the state examiner of the state board of accounts or the state
examiner's designee;
(4) the director of the state library;
(5) the director of the historical bureau;
(6) the director of the commission on public records;
(7) the commissioner of the department of administration or the
commissioner's designee;
(8) the public access counselor; and
(9) the chief information officer of the office of technology
appointed under IC 4-13.1-2-3 or the chief information officer's
designee.
(b) The oversight committee also consists of two (2) lay members
appointed by the governor for a term of four (4) years. One (1) lay
member shall be a professional journalist or be a member of an
association related to journalism.
(c) The oversight committee shall elect one (1) of its members to
be chairman. The director of the commission on public records shall
be the secretary of the committee. The ex officio members of the
oversight committee shall serve without compensation and shall
receive no reimbursement for any expense which they may incur.
Each lay member is entitled to reimbursement for traveling and other
expenses as provided in the state travel policies and procedures,
established by the department of administration and approved by the
budget agency and each lay member is entitled to the minimum
salary per diem as provided in IC 4-10-11-2.1(b). As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.114-2001,
SEC.1; P.L.177-2005, SEC.18.
IC 5-15-5.1-19 Duties of oversight committee
Sec. 19. (a) It is the duty of the oversight committee to:
(1) function as the policy making body for the commission; and
(2) determine what records have no apparent official value but
should be preserved for research or other purposes.
(b) The oversight committee shall maintain a master list of all
record series that are classified as confidential by statute or rule.
(c) The oversight committee has final approval of all record
retention schedules.
(d) The oversight committee has final approval of a fee schedule
established by the commission under section 5(a)(16) of this chapter. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,
SEC.10; P.L.58-1993, SEC.13.
IC 5-15-5.1-20 Establishment of standards by oversight committee; forms;
records using archival quality paper; rules
Sec. 20. (a) the oversight committee shall:
(1) establish standards for safeguarding personal information
systems that shall be followed by agencies maintaining such
systems;
(2) approve the content of all forms that involve confidential
records; and
(3) require use of archival quality paper for records that the
commission determines should be preserved indefinitely.
(b) The oversight committee may adopt rules under IC 4-22-2
necessary for the performance of its duties, consistent with this
chapter and other applicable Indiana laws. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,
SEC.11; P.L.30-1989, SEC.3.
IC 5-15-5.1
Chapter 5.1. State Commission on Public Records
IC 5-15-5.1-1 Definitions
Sec. 1. As used in this chapter:
"Commission" means the commission on public records created
by this chapter.
"Record" means all documentation of the informational,
communicative or decisionmaking processes of state government, its
agencies and subdivisions made or received by any agency of state
government or its employees in connection with the transaction of
public business or government functions, which documentation is
created, received, retained, maintained, or filed by that agency or its
successors as evidence of its activities or because of the
informational value of the data in the documentation, and which is
generated on:
(1) paper or paper substitutes;
(2) photographic or chemically based media;
(3) magnetic or machine readable media; or
(4) any other materials, regardless of form or characteristics.
"Nonrecord materials" means all identical copies of forms,
records, reference books, and exhibit materials which are made, or
acquired, and preserved solely for reference use, exhibition purposes,
or publication and which are not included within the definition of
record.
"Personal records" means:
(1) all documentary materials of a private or nonpublic
character which do not relate to or have an effect upon the
carrying out of the constitutional, statutory, or other official or
ceremonial duties of a public official, including: diaries,
journals, or other personal notes serving as the functional
equivalent of a diary or journal which are not prepared or
utilized for, or circulated or communicated in the course of,
transacting government business; or
(2) materials relating to private political associations, and
having no relation to or effect upon the carrying out of
constitutional, statutory, or other official or ceremonial duties
of a public official and are not deemed public records.
"Form" means every piece of paper, transparent plate, or film
containing information, printed, generated, or reproduced by
whatever means, with blank spaces left for the entry of additional
information to be used in any transaction involving the state.
"Agency" means any state office, department, division, board,
bureau, commission, authority, or other separate unit of state
government established by the constitution, law, or by executive or
legislative order.
"Public official" means an individual holding a state office created
by the Constitution of Indiana, by act or resolution of the general
assembly, or by the governor; all officers of the executive and
administrative branch of state government; and all other officers,
heads, presidents, or chairmen of agencies of state government.
"Indiana state archives" means the program maintained by the
commission for the preservation of those records and other
government papers that have been determined by the commission to
have sufficient permanent values to warrant their continued
preservation by the state.
"Forms management" means the program maintained by the
commission to provide continuity of forms design procedures from
the form's origin up to its completion as a record by determining the
form's size, style and size of type; format; type of construction;
number of plies; quality, weight and type of paper and carbon; and
by determining the use of the form for data entry as well as the
distribution.
"Information management" means the program maintained by the
commission for the application of management techniques to the
purchase, creation, utilization, maintenance, retention, preservation,
and disposal of forms and records undertaken to improve efficiency
and reduce costs of recordkeeping; including management of filing
and microfilming equipment and supplies, filing and information
retrieval systems, files, correspondence, reports and forms
management, historical documentation, micrographic retention
programming, and critical records protection.
"Records center" means a program maintained by the commission
primarily for the storage, processing, retrieving, servicing, and
security of government records that must be retained for varying
periods of time but should not be maintained in an agency's office
equipment or space.
"Critical records" means records necessary to resume or continue
governmental operations, the reestablishing of the legal and financial
responsibilities of government in the state, or to protect and fulfill
governmental obligations to the citizens of the state.
"Retention schedule" means a set of instructions prescribing how
long, where, and in what form a record series shall be kept.
"Records series" means documents or records that are filed in a
unified arrangement, and having similar physical characteristics or
relating to a similar function or activity.
"Records coordinator" means a person designated by an agency
to serve as an information liaison person between the agency and the
commission. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.1-1999,
SEC.7.
IC 5-15-5.1-2 Application of chapter
Sec. 2. (a) This chapter applies to records:
(1) open to the public and carrying no classification or
restriction;
(2) required to be kept confidential by federal law, rule, or
regulation;
(3) declared confidential by the general assembly; or
(4) declared confidential by a rule adopted under specific
authority for confidential records granted to an agency by the
general assembly.
(b) The provisions of this chapter do not apply to state-supported
colleges and universities, but the commission may offer its services
to them.
(c) The provisions of this chapter shall in no way restrict the
powers and duties of the state board of accounts as prescribed by
IC 5-11. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,
SEC.8; P.L.36-1984, SEC.1.
IC 5-15-5.1-3 Creation of commission; administration of chapter; seal; offer of
services
Sec. 3. There is created the commission on public records to
administer this chapter for the administrative and executive branches
of state government. The commission shall adopt a seal which shall
be the seal of the state of Indiana. The commission shall offer its
services to the legislative and judicial branches of state government. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-4 Director; qualifications; term; removal; staff; salaries
Sec. 4. (a) The governor shall appoint a director as the executive
head of the commission. The director must be versed in the
principles of information and forms management, archives, and the
affairs and organization of state government. The director shall serve
a term of four (4) years. However, the director may be removed for
cause by the governor. It is the intent of the general assembly that the
director be a person who is qualified by training and experience to
administer the affairs of the commission and that the director's tenure
of office is limited only by the director's ability and the proper
performance of the director's duties.
(b) The director, subject to the approval of the governor and the
budget agency, shall appoint such staff as necessary to implement
this chapter.
(c) The salary of the director is subject to the approval of the
governor and the budget agency. Salaries of the staff are subject to
the approval of the state personnel department and the budget
agency. The provisions of IC 4-15-2 apply to the staff of the
commission. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.3-1989,
SEC.28.
IC 5-15-5.1-5 Powers and duties of commission
Sec. 5. (a) Subject to approval by the oversight committee on
public records created by section 18 of this chapter, the commission
shall do the following:
(1) Establish a forms management program for state
government and approve the design, typography, format, logo,
data sequence, form analysis, form number, and agency file
specifications of each form.
(2) Establish a central state form numbering system and a
central cross index filing system of all state forms, and
standardize, consolidate, and eliminate, wherever possible,
forms used by state government.
(3) Approve, provide, and in the manner prescribed by IC 5-22,
purchase photo-ready copy for all forms.
(4) Establish a statewide records management program,
prescribing the standards and procedures for record making and
record keeping. However, the investigative and criminal history
records of the state police department are exempted from this
requirement.
(5) Coordinate utilization of all micrographics equipment in
state government.
(6) Assist the Indiana department of administration in
coordinating utilization of all duplicating and printing
equipment in the executive and administrative branches.
(7) Advise the Indiana department of administration with
respect to the purchase of all records storage equipment.
(8) Establish and operate a distribution center for the receipt,
storage, and distribution of all material printed for an agency.
(9) Establish and operate a statewide archival program to be
called the Indiana state archives for the permanent government
records of the state, provide consultant services for archival
programs, conduct surveys, and provide training for records
coordinators.
(10) Establish and operate a statewide record preservation
laboratory.
(11) Prepare, develop, and implement record retention
schedules.
(12) Establish and operate a central records center to be called
the Indiana state records center, which shall accept all records
transferred to it, provide secure storage and reference service
for the same, and submit written notice to the applicable agency
of intended destruction of records in accordance with approved
retention schedules.
(13) Demand, from any person or organization or body who has
illegal possession of original state or local government records,
those records, which shall be delivered to the commission.
(14) Have the authority to examine all forms and records
housed or possessed by state agencies for the purpose of
fulfilling the provisions of this chapter.
(15) In coordination with the office of technology established
by IC 4-13.1-2-1, establish standards to ensure the preservation
of adequate and permanent computerized and auxiliary
automated information records of the agencies of state
government.
(16) Notwithstanding IC 5-14-3-8, establish a schedule of fees
for services provided to patrons of the Indiana state archives. A
copying fee established under this subdivision may exceed the
copying fee set forth in IC 5-14-3-8(c).
(b) In implementing a forms management program, the
commission shall follow procedures and forms prescribed by the
federal government.
(c) Fees collected under subsection (a)(16) shall be deposited in
the state archives preservation and reproduction account established
by section 5.3 of this chapter. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.28-1983,
SEC.52; P.L.58-1993, SEC.11; P.L.49-1997, SEC.29; P.L.177-2005,
SEC.17.
IC 5-15-5.1-5.3 State archives preservation and reproduction account;
establishment
Sec. 5.3. (a) The state archives preservation and reproduction
account (referred to in this section as "the account") is established as
an account within the state general fund. The account shall be
administered by the commission. The money in the account does not
revert to any other account within the state general fund at the end of
a state fiscal year.
(b) The account consists of fees collected under section 5(a)(16)
of this chapter.
(c) Money in the account is annually appropriated to the
commission for use in the preservation and reproduction of public
records in the Indiana state archives. As added by P.L.58-1993, SEC.12.
IC 5-15-5.1-6 Designing, numbering, standardizing, consolidating, and
eliminating forms; considerations by commission
Sec. 6. The commission shall design, redesign, number,
standardize, consolidate, or eliminate when obsolete, all forms used
by state government, apply the definition of record to any
governmental materials so questioned, and determine the nature of
nonrecord materials housed or maintained by an agency. In
performing these functions, the commission shall consult with each
affected agency and shall consider each agency's statutory
responsibilities, its relationships with federal or other governmental
agencies and the requirements of state law. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-6.5 Racial or ethnic identification information; multiracial
classification
Sec. 6.5. (a) This section does not apply to a printed document
that was printed and in stock before July 1, 1995.
(b) As used in this section, "multiracial" means having a
biological parent who is of a different race from the other biological
parent.
(c) All forms, questionnaires, and other printed or electronic
documents:
(1) that are used by a public agency (as defined in IC 5-14-3-2)
to request information on the racial or ethnic identification of
a respondent; and
(2) that contain an enumeration of racial and ethnic
classifications from which the respondent must select a
classification;
must include among the choices the classification multiracial. As added by P.L.80-1995, SEC.1.
IC 5-15-5.1-7 Archives; supervision; use of materials
Sec. 7. The commission shall make the archives of the state
available for public use under supervised control at reasonable hours.
However, the commission shall weigh the need for preservation from
deterioration or mutilation of original records in establishing access
use to such items. The commission shall furnish copies of archival
materials upon request, unless confidential by law or restricted by
promulgated rule, and payment of such fees as may be required. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-8 Central micrographics laboratory; microfilming standards
Sec. 8. The commission shall operate a central micrographics
laboratory. The oversight committee in coordination with the
supreme court shall promulgate regulations concerning quality
standards for microfilming documents that shall allow documents
meeting those standards to be admissible in court. Such microfilming
standards shall be followed by all agencies of the administrative and
executive branches of state government. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-9 Copies of records certified by commission; force and effect
Sec. 9. Copies of records transferred from the office of their
origin to the custody of the commission, when certified by the
director or his designee, under seal of the commission, shall have the
same force and effect as if certified by the original custodian. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-10 Duties of agencies
Sec. 10. Each agency shall:
(1) Make and preserve records containing adequate and proper
documentation of the organization, functions, policies,
decisions, procedures, and essential transactions of the agency
to protect the legal and financial rights of the government and
of persons directly affected by the agency's activities.
(2) Cooperate fully with the commission in implementing the
provisions of this chapter.
(3) Establish and maintain an active and continuing program for
the economical and efficient management of information and
assist the commission in the conduct of information
management surveys.
(4) Implement information management procedures and
regulations issued by the commission.
(5) Submit to the oversight committee, a recommended
retention schedule for each form and record series in its
custody. However, retention schedules for forms and record
series common to more than one (1) agency may be established
by the oversight committee. Records may not be scheduled for
retention any longer than is necessary to perform required
functions. Records requiring retention for several years must be
transferred to the records center.
(6) Establish necessary safeguards against the removal,
alteration, or loss of records; safeguards shall include
notification to all officials and employees of the agency that
records in the custody of the agency may not be alienated or
destroyed except in accordance with the provisions of this
chapter.
(7) Designate an agency information coordinator, who shall
assist the commission in the content requirements of the form
design process and in the development of the agency's records
retention schedules.
(8) Report to the commission before December 31 of each year
those records which have been created or discontinued in the
past year. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-11 Title to records
Sec. 11. Title to any record transferred to the Indiana state
archives as authorized by this chapter shall be vested in the
commission. However, title to any record deposited in the Indiana
state records center shall remain with the agency transferring that
record. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-12 Critical records program
Sec. 12. The commission shall establish and maintain a critical
records program for the state of Indiana. It shall determine what
records are essential to the continuity of state government operations
and shall survey agency records to identify those records. The
commission shall plan and implement a program for protection of
critical records through dispersal, duplication, or secure vault storage
of those records. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-13 Confidential records; destruction
Sec. 13. Records designated as confidential by law shall be so
treated by the commission in the maintenance, storage, transfer, or
other disposition of those records. Confidential records scheduled for
destruction shall be destroyed in such a manner that they cannot be
read, interpreted, or reconstructed. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,
SEC.9.
IC 5-15-5.1-14 Mutilation, sale, loan, or other disposition of records by public
official or agency
Sec. 14. A public official or agency may not mutilate, destroy,
sell, loan, or otherwise dispose of any government record, except
under a record retention schedule or with the written consent of the
commission. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-15 Delivery of records by public official to successor
Sec. 15. (a) A public official who has the custody of any records,
excluding personal records, shall at the expiration of his term of
office or appointment, deliver to his successor, or to the commission
if there is no successor, all materials defined as records by this
chapter.
(b) Upon the termination of a state agency whose functions have
not been transferred to another agency, the records of the state
agency shall be deposited with the commission. The commission
shall determine which records are of sufficient legal, historical,
administrative, research or fiscal value to warrant their continued
preservation. Records that are determined to be of insufficient value
to warrant continued preservation shall be disposed of or destroyed. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-16 Transfer of records to state archives; agreements with legislature
and supreme court
Sec. 16. (a) The commission may enter into agreements with the
legislative branch of government for transfer of the permanent
records of that body not having current administrative value to the
Indiana state archives.
(b) The commission may enter into agreements with the Indiana
supreme court and court of appeals and their clerk for transfer of the
permanent records of those bodies not having current administrative
value to the state archives. As added by Acts 1979, P.L.40, SEC.1. IC 5-15-5.1-17 Delivery of books, records, and documents to commission by state,
county, or other officials; copies of documents, papers, and rules
Sec. 17. (a) A state, county, or other official may turn over to the
commission, in accordance with the rules of the commission for
permanent preservation, any official books, records, documents,
original papers, newspaper files, or printed books or materials not in
current use in his office.
(b) Subject to subsection (c), the commission may make a copy,
by photography or in any other way, of any official book, record,
document, original paper, newspaper, or printed book or material in
any county, city, or other public office for preservation in the state
archives. County, city, and other officials shall permit such copies to
be made of the books, records, documents, and papers in their
respective offices.
(c) The commission shall copy the official copy of the rules
(including incorporated matters filed under IC 4-22-2-21) retained by
the secretary of state under IC 4-5-1-2. Any duplicate original copy
possessed by another agency is not a critical record and may not be
copied. If the secretary of state prepares micrographic copies of these
documents under IC 4-5-1-2 and the copies are in a form that meets
the specifications of the commission, the commission shall arrange
with the secretary of state to obtain the number of copies needed by
the commission, rather than copying the documents as part of a
separate program. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.31-1985,
SEC.42; P.L.11-1996, SEC.3.
IC 5-15-5.1-18 Oversight committee; composition; secretary; compensation and
expenses
Sec. 18. (a) The oversight committee on public records consists
ex officio of:
(1) the governor or the governor's designee;
(2) the secretary of state or the secretary's designee;
(3) the state examiner of the state board of accounts or the state
examiner's designee;
(4) the director of the state library;
(5) the director of the historical bureau;
(6) the director of the commission on public records;
(7) the commissioner of the department of administration or the
commissioner's designee;
(8) the public access counselor; and
(9) the chief information officer of the office of technology
appointed under IC 4-13.1-2-3 or the chief information officer's
designee.
(b) The oversight committee also consists of two (2) lay members
appointed by the governor for a term of four (4) years. One (1) lay
member shall be a professional journalist or be a member of an
association related to journalism.
(c) The oversight committee shall elect one (1) of its members to
be chairman. The director of the commission on public records shall
be the secretary of the committee. The ex officio members of the
oversight committee shall serve without compensation and shall
receive no reimbursement for any expense which they may incur.
Each lay member is entitled to reimbursement for traveling and other
expenses as provided in the state travel policies and procedures,
established by the department of administration and approved by the
budget agency and each lay member is entitled to the minimum
salary per diem as provided in IC 4-10-11-2.1(b). As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.114-2001,
SEC.1; P.L.177-2005, SEC.18.
IC 5-15-5.1-19 Duties of oversight committee
Sec. 19. (a) It is the duty of the oversight committee to:
(1) function as the policy making body for the commission; and
(2) determine what records have no apparent official value but
should be preserved for research or other purposes.
(b) The oversight committee shall maintain a master list of all
record series that are classified as confidential by statute or rule.
(c) The oversight committee has final approval of all record
retention schedules.
(d) The oversight committee has final approval of a fee schedule
established by the commission under section 5(a)(16) of this chapter. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,
SEC.10; P.L.58-1993, SEC.13.
IC 5-15-5.1-20 Establishment of standards by oversight committee; forms;
records using archival quality paper; rules
Sec. 20. (a) the oversight committee shall:
(1) establish standards for safeguarding personal information
systems that shall be followed by agencies maintaining such
systems;
(2) approve the content of all forms that involve confidential
records; and
(3) require use of archival quality paper for records that the
commission determines should be preserved indefinitely.
(b) The oversight committee may adopt rules under IC 4-22-2
necessary for the performance of its duties, consistent with this
chapter and other applicable Indiana laws. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,
SEC.11; P.L.30-1989, SEC.3.
IC 5-15-5.1
Chapter 5.1. State Commission on Public Records
IC 5-15-5.1-1 Definitions
Sec. 1. As used in this chapter:
"Commission" means the commission on public records created
by this chapter.
"Record" means all documentation of the informational,
communicative or decisionmaking processes of state government, its
agencies and subdivisions made or received by any agency of state
government or its employees in connection with the transaction of
public business or government functions, which documentation is
created, received, retained, maintained, or filed by that agency or its
successors as evidence of its activities or because of the
informational value of the data in the documentation, and which is
generated on:
(1) paper or paper substitutes;
(2) photographic or chemically based media;
(3) magnetic or machine readable media; or
(4) any other materials, regardless of form or characteristics.
"Nonrecord materials" means all identical copies of forms,
records, reference books, and exhibit materials which are made, or
acquired, and preserved solely for reference use, exhibition purposes,
or publication and which are not included within the definition of
record.
"Personal records" means:
(1) all documentary materials of a private or nonpublic
character which do not relate to or have an effect upon the
carrying out of the constitutional, statutory, or other official or
ceremonial duties of a public official, including: diaries,
journals, or other personal notes serving as the functional
equivalent of a diary or journal which are not prepared or
utilized for, or circulated or communicated in the course of,
transacting government business; or
(2) materials relating to private political associations, and
having no relation to or effect upon the carrying out of
constitutional, statutory, or other official or ceremonial duties
of a public official and are not deemed public records.
"Form" means every piece of paper, transparent plate, or film
containing information, printed, generated, or reproduced by
whatever means, with blank spaces left for the entry of additional
information to be used in any transaction involving the state.
"Agency" means any state office, department, division, board,
bureau, commission, authority, or other separate unit of state
government established by the constitution, law, or by executive or
legislative order.
"Public official" means an individual holding a state office created
by the Constitution of Indiana, by act or resolution of the general
assembly, or by the governor; all officers of the executive and
administrative branch of state government; and all other officers,
heads, presidents, or chairmen of agencies of state government.
"Indiana state archives" means the program maintained by the
commission for the preservation of those records and other
government papers that have been determined by the commission to
have sufficient permanent values to warrant their continued
preservation by the state.
"Forms management" means the program maintained by the
commission to provide continuity of forms design procedures from
the form's origin up to its completion as a record by determining the
form's size, style and size of type; format; type of construction;
number of plies; quality, weight and type of paper and carbon; and
by determining the use of the form for data entry as well as the
distribution.
"Information management" means the program maintained by the
commission for the application of management techniques to the
purchase, creation, utilization, maintenance, retention, preservation,
and disposal of forms and records undertaken to improve efficiency
and reduce costs of recordkeeping; including management of filing
and microfilming equipment and supplies, filing and information
retrieval systems, files, correspondence, reports and forms
management, historical documentation, micrographic retention
programming, and critical records protection.
"Records center" means a program maintained by the commission
primarily for the storage, processing, retrieving, servicing, and
security of government records that must be retained for varying
periods of time but should not be maintained in an agency's office
equipment or space.
"Critical records" means records necessary to resume or continue
governmental operations, the reestablishing of the legal and financial
responsibilities of government in the state, or to protect and fulfill
governmental obligations to the citizens of the state.
"Retention schedule" means a set of instructions prescribing how
long, where, and in what form a record series shall be kept.
"Records series" means documents or records that are filed in a
unified arrangement, and having similar physical characteristics or
relating to a similar function or activity.
"Records coordinator" means a person designated by an agency
to serve as an information liaison person between the agency and the
commission. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.1-1999,
SEC.7.
IC 5-15-5.1-2 Application of chapter
Sec. 2. (a) This chapter applies to records:
(1) open to the public and carrying no classification or
restriction;
(2) required to be kept confidential by federal law, rule, or
regulation;
(3) declared confidential by the general assembly; or
(4) declared confidential by a rule adopted under specific
authority for confidential records granted to an agency by the
general assembly.
(b) The provisions of this chapter do not apply to state-supported
colleges and universities, but the commission may offer its services
to them.
(c) The provisions of this chapter shall in no way restrict the
powers and duties of the state board of accounts as prescribed by
IC 5-11. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,
SEC.8; P.L.36-1984, SEC.1.
IC 5-15-5.1-3 Creation of commission; administration of chapter; seal; offer of
services
Sec. 3. There is created the commission on public records to
administer this chapter for the administrative and executive branches
of state government. The commission shall adopt a seal which shall
be the seal of the state of Indiana. The commission shall offer its
services to the legislative and judicial branches of state government. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-4 Director; qualifications; term; removal; staff; salaries
Sec. 4. (a) The governor shall appoint a director as the executive
head of the commission. The director must be versed in the
principles of information and forms management, archives, and the
affairs and organization of state government. The director shall serve
a term of four (4) years. However, the director may be removed for
cause by the governor. It is the intent of the general assembly that the
director be a person who is qualified by training and experience to
administer the affairs of the commission and that the director's tenure
of office is limited only by the director's ability and the proper
performance of the director's duties.
(b) The director, subject to the approval of the governor and the
budget agency, shall appoint such staff as necessary to implement
this chapter.
(c) The salary of the director is subject to the approval of the
governor and the budget agency. Salaries of the staff are subject to
the approval of the state personnel department and the budget
agency. The provisions of IC 4-15-2 apply to the staff of the
commission. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.3-1989,
SEC.28.
IC 5-15-5.1-5 Powers and duties of commission
Sec. 5. (a) Subject to approval by the oversight committee on
public records created by section 18 of this chapter, the commission
shall do the following:
(1) Establish a forms management program for state
government and approve the design, typography, format, logo,
data sequence, form analysis, form number, and agency file
specifications of each form.
(2) Establish a central state form numbering system and a
central cross index filing system of all state forms, and
standardize, consolidate, and eliminate, wherever possible,
forms used by state government.
(3) Approve, provide, and in the manner prescribed by IC 5-22,
purchase photo-ready copy for all forms.
(4) Establish a statewide records management program,
prescribing the standards and procedures for record making and
record keeping. However, the investigative and criminal history
records of the state police department are exempted from this
requirement.
(5) Coordinate utilization of all micrographics equipment in
state government.
(6) Assist the Indiana department of administration in
coordinating utilization of all duplicating and printing
equipment in the executive and administrative branches.
(7) Advise the Indiana department of administration with
respect to the purchase of all records storage equipment.
(8) Establish and operate a distribution center for the receipt,
storage, and distribution of all material printed for an agency.
(9) Establish and operate a statewide archival program to be
called the Indiana state archives for the permanent government
records of the state, provide consultant services for archival
programs, conduct surveys, and provide training for records
coordinators.
(10) Establish and operate a statewide record preservation
laboratory.
(11) Prepare, develop, and implement record retention
schedules.
(12) Establish and operate a central records center to be called
the Indiana state records center, which shall accept all records
transferred to it, provide secure storage and reference service
for the same, and submit written notice to the applicable agency
of intended destruction of records in accordance with approved
retention schedules.
(13) Demand, from any person or organization or body who has
illegal possession of original state or local government records,
those records, which shall be delivered to the commission.
(14) Have the authority to examine all forms and records
housed or possessed by state agencies for the purpose of
fulfilling the provisions of this chapter.
(15) In coordination with the office of technology established
by IC 4-13.1-2-1, establish standards to ensure the preservation
of adequate and permanent computerized and auxiliary
automated information records of the agencies of state
government.
(16) Notwithstanding IC 5-14-3-8, establish a schedule of fees
for services provided to patrons of the Indiana state archives. A
copying fee established under this subdivision may exceed the
copying fee set forth in IC 5-14-3-8(c).
(b) In implementing a forms management program, the
commission shall follow procedures and forms prescribed by the
federal government.
(c) Fees collected under subsection (a)(16) shall be deposited in
the state archives preservation and reproduction account established
by section 5.3 of this chapter. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.28-1983,
SEC.52; P.L.58-1993, SEC.11; P.L.49-1997, SEC.29; P.L.177-2005,
SEC.17.
IC 5-15-5.1-5.3 State archives preservation and reproduction account;
establishment
Sec. 5.3. (a) The state archives preservation and reproduction
account (referred to in this section as "the account") is established as
an account within the state general fund. The account shall be
administered by the commission. The money in the account does not
revert to any other account within the state general fund at the end of
a state fiscal year.
(b) The account consists of fees collected under section 5(a)(16)
of this chapter.
(c) Money in the account is annually appropriated to the
commission for use in the preservation and reproduction of public
records in the Indiana state archives. As added by P.L.58-1993, SEC.12.
IC 5-15-5.1-6 Designing, numbering, standardizing, consolidating, and
eliminating forms; considerations by commission
Sec. 6. The commission shall design, redesign, number,
standardize, consolidate, or eliminate when obsolete, all forms used
by state government, apply the definition of record to any
governmental materials so questioned, and determine the nature of
nonrecord materials housed or maintained by an agency. In
performing these functions, the commission shall consult with each
affected agency and shall consider each agency's statutory
responsibilities, its relationships with federal or other governmental
agencies and the requirements of state law. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-6.5 Racial or ethnic identification information; multiracial
classification
Sec. 6.5. (a) This section does not apply to a printed document
that was printed and in stock before July 1, 1995.
(b) As used in this section, "multiracial" means having a
biological parent who is of a different race from the other biological
parent.
(c) All forms, questionnaires, and other printed or electronic
documents:
(1) that are used by a public agency (as defined in IC 5-14-3-2)
to request information on the racial or ethnic identification of
a respondent; and
(2) that contain an enumeration of racial and ethnic
classifications from which the respondent must select a
classification;
must include among the choices the classification multiracial. As added by P.L.80-1995, SEC.1.
IC 5-15-5.1-7 Archives; supervision; use of materials
Sec. 7. The commission shall make the archives of the state
available for public use under supervised control at reasonable hours.
However, the commission shall weigh the need for preservation from
deterioration or mutilation of original records in establishing access
use to such items. The commission shall furnish copies of archival
materials upon request, unless confidential by law or restricted by
promulgated rule, and payment of such fees as may be required. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-8 Central micrographics laboratory; microfilming standards
Sec. 8. The commission shall operate a central micrographics
laboratory. The oversight committee in coordination with the
supreme court shall promulgate regulations concerning quality
standards for microfilming documents that shall allow documents
meeting those standards to be admissible in court. Such microfilming
standards shall be followed by all agencies of the administrative and
executive branches of state government. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-9 Copies of records certified by commission; force and effect
Sec. 9. Copies of records transferred from the office of their
origin to the custody of the commission, when certified by the
director or his designee, under seal of the commission, shall have the
same force and effect as if certified by the original custodian. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-10 Duties of agencies
Sec. 10. Each agency shall:
(1) Make and preserve records containing adequate and proper
documentation of the organization, functions, policies,
decisions, procedures, and essential transactions of the agency
to protect the legal and financial rights of the government and
of persons directly affected by the agency's activities.
(2) Cooperate fully with the commission in implementing the
provisions of this chapter.
(3) Establish and maintain an active and continuing program for
the economical and efficient management of information and
assist the commission in the conduct of information
management surveys.
(4) Implement information management procedures and
regulations issued by the commission.
(5) Submit to the oversight committee, a recommended
retention schedule for each form and record series in its
custody. However, retention schedules for forms and record
series common to more than one (1) agency may be established
by the oversight committee. Records may not be scheduled for
retention any longer than is necessary to perform required
functions. Records requiring retention for several years must be
transferred to the records center.
(6) Establish necessary safeguards against the removal,
alteration, or loss of records; safeguards shall include
notification to all officials and employees of the agency that
records in the custody of the agency may not be alienated or
destroyed except in accordance with the provisions of this
chapter.
(7) Designate an agency information coordinator, who shall
assist the commission in the content requirements of the form
design process and in the development of the agency's records
retention schedules.
(8) Report to the commission before December 31 of each year
those records which have been created or discontinued in the
past year. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-11 Title to records
Sec. 11. Title to any record transferred to the Indiana state
archives as authorized by this chapter shall be vested in the
commission. However, title to any record deposited in the Indiana
state records center shall remain with the agency transferring that
record. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-12 Critical records program
Sec. 12. The commission shall establish and maintain a critical
records program for the state of Indiana. It shall determine what
records are essential to the continuity of state government operations
and shall survey agency records to identify those records. The
commission shall plan and implement a program for protection of
critical records through dispersal, duplication, or secure vault storage
of those records. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-13 Confidential records; destruction
Sec. 13. Records designated as confidential by law shall be so
treated by the commission in the maintenance, storage, transfer, or
other disposition of those records. Confidential records scheduled for
destruction shall be destroyed in such a manner that they cannot be
read, interpreted, or reconstructed. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,
SEC.9.
IC 5-15-5.1-14 Mutilation, sale, loan, or other disposition of records by public
official or agency
Sec. 14. A public official or agency may not mutilate, destroy,
sell, loan, or otherwise dispose of any government record, except
under a record retention schedule or with the written consent of the
commission. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-15 Delivery of records by public official to successor
Sec. 15. (a) A public official who has the custody of any records,
excluding personal records, shall at the expiration of his term of
office or appointment, deliver to his successor, or to the commission
if there is no successor, all materials defined as records by this
chapter.
(b) Upon the termination of a state agency whose functions have
not been transferred to another agency, the records of the state
agency shall be deposited with the commission. The commission
shall determine which records are of sufficient legal, historical,
administrative, research or fiscal value to warrant their continued
preservation. Records that are determined to be of insufficient value
to warrant continued preservation shall be disposed of or destroyed. As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-16 Transfer of records to state archives; agreements with legislature
and supreme court
Sec. 16. (a) The commission may enter into agreements with the
legislative branch of government for transfer of the permanent
records of that body not having current administrative value to the
Indiana state archives.
(b) The commission may enter into agreements with the Indiana
supreme court and court of appeals and their clerk for transfer of the
permanent records of those bodies not having current administrative
value to the state archives. As added by Acts 1979, P.L.40, SEC.1. IC 5-15-5.1-17 Delivery of books, records, and documents to commission by state,
county, or other officials; copies of documents, papers, and rules
Sec. 17. (a) A state, county, or other official may turn over to the
commission, in accordance with the rules of the commission for
permanent preservation, any official books, records, documents,
original papers, newspaper files, or printed books or materials not in
current use in his office.
(b) Subject to subsection (c), the commission may make a copy,
by photography or in any other way, of any official book, record,
document, original paper, newspaper, or printed book or material in
any county, city, or other public office for preservation in the state
archives. County, city, and other officials shall permit such copies to
be made of the books, records, documents, and papers in their
respective offices.
(c) The commission shall copy the official copy of the rules
(including incorporated matters filed under IC 4-22-2-21) retained by
the secretary of state under IC 4-5-1-2. Any duplicate original copy
possessed by another agency is not a critical record and may not be
copied. If the secretary of state prepares micrographic copies of these
documents under IC 4-5-1-2 and the copies are in a form that meets
the specifications of the commission, the commission shall arrange
with the secretary of state to obtain the number of copies needed by
the commission, rather than copying the documents as part of a
separate program. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.31-1985,
SEC.42; P.L.11-1996, SEC.3.
IC 5-15-5.1-18 Oversight committee; composition; secretary; compensation and
expenses
Sec. 18. (a) The oversight committee on public records consists
ex officio of:
(1) the governor or the governor's designee;
(2) the secretary of state or the secretary's designee;
(3) the state examiner of the state board of accounts or the state
examiner's designee;
(4) the director of the state library;
(5) the director of the historical bureau;
(6) the director of the commission on public records;
(7) the commissioner of the department of administration or the
commissioner's designee;
(8) the public access counselor; and
(9) the chief information officer of the office of technology
appointed under IC 4-13.1-2-3 or the chief information officer's
designee.
(b) The oversight committee also consists of two (2) lay members
appointed by the governor for a term of four (4) years. One (1) lay
member shall be a professional journalist or be a member of an
association related to journalism.
(c) The oversight committee shall elect one (1) of its members to
be chairman. The director of the commission on public records shall
be the secretary of the committee. The ex officio members of the
oversight committee shall serve without compensation and shall
receive no reimbursement for any expense which they may incur.
Each lay member is entitled to reimbursement for traveling and other
expenses as provided in the state travel policies and procedures,
established by the department of administration and approved by the
budget agency and each lay member is entitled to the minimum
salary per diem as provided in IC 4-10-11-2.1(b). As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.114-2001,
SEC.1; P.L.177-2005, SEC.18.
IC 5-15-5.1-19 Duties of oversight committee
Sec. 19. (a) It is the duty of the oversight committee to:
(1) function as the policy making body for the commission; and
(2) determine what records have no apparent official value but
should be preserved for research or other purposes.
(b) The oversight committee shall maintain a master list of all
record series that are classified as confidential by statute or rule.
(c) The oversight committee has final approval of all record
retention schedules.
(d) The oversight committee has final approval of a fee schedule
established by the commission under section 5(a)(16) of this chapter. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,
SEC.10; P.L.58-1993, SEC.13.
IC 5-15-5.1-20 Establishment of standards by oversight committee; forms;
records using archival quality paper; rules
Sec. 20. (a) the oversight committee shall:
(1) establish standards for safeguarding personal information
systems that shall be followed by agencies maintaining such
systems;
(2) approve the content of all forms that involve confidential
records; and
(3) require use of archival quality paper for records that the
commission determines should be preserved indefinitely.
(b) The oversight committee may adopt rules under IC 4-22-2
necessary for the performance of its duties, consistent with this
chapter and other applicable Indiana laws. As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,
SEC.11; P.L.30-1989, SEC.3.
